Caroline S. Egan
Professional summary
Caroline Sabina Egan, CFP®, who also goes by Caroline Sabina Egan Von Rotberg, is a registered financial advisor currently at DESTINATION WEALTH MANAGEMENT located in Walnut Creek, California.
Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Caroline has worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Caroline Sabina Egan's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1998
Experience
May 23, 2014 - Present
DESTINATION WEALTH MANAGEMENT
Office #1: 1255 Treat Boulevard Suite 900, Walnut Creek, CA 94597February 9, 2006 - December 31, 2007
NORTHERN TRUST SECURITIES, INC.
January 4, 2006 - April 1, 2014
NORTHERN TRUST SECURITIES, INC.
September 28, 2000 - October 17, 2005
DESTINATION WEALTH MANAGEMENT
July 7, 1999 - May 3, 2000
CARILLON INVESTMENTS, INC.
July 28, 1997 - July 14, 1999
EMMETT A LARKIN COMPANY, INC.
June 26, 1997 - May 19, 1999
METROPOLITAN LIFE INSURANCE COMPANY
June 26, 1997 - May 19, 1999
MSI FINANCIAL SERVICES, INC.
June 15, 1995 - July 23, 1997
CARILLON INVESTMENTS, INC.
February 23, 1994 - June 16, 1995
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
DESTINATION WEALTH MANAGEMENT
CRD#: 110365 / SEC#: 801-53077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/23/2014)
(5/23/2014)
Exams
Current Firm
DESTINATION WEALTH MANAGEMENT
CRD#: 110365 / SEC#: 801-53077
Contact information
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,732 |
| AUM (Assets Under Management) | $ 4,145,050,618 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
DESTINATION WEALTH MANAGEMENT
CRD#: 110365Walnut Creek, CA 94597TRUST BUT VERIFY
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